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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

Curtis A. Paul

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Westlake, OH | Pepper Pike, OH | Chagrin Falls, OH

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Search this name across graphsid dfx:ria:1d222596-80da-1071-1376-a5aed3ce2a9c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 25, 2007 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: AMERIPRISE FINANCIAL SERVICES, LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 1, 1983earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63
First exam: Apr 18, 1984
First registration: Jan 25, 2007
Dual registered: yes, broker-dealer
Other names: CURTIS ALAN PAUL
IAPD individual key: 1240221

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Sep 20, 2024	n/a	yes	Chagrin Falls, OH\|Pepper Pike, OH\|Westlake, OH	Current employment
B. RILEY WEALTH ADVISORS, INC.	Bd affiliated wealth	Jul 25, 2022	Oct 18, 2024	no	Oberlin, OH\|Beachwood, OH	Previous registration
B RILEY WEALTH MANAGEMENT	Former SEC adviser	Oct 9, 2018	Dec 31, 2022	no	Mentor, OH\|Oberlin, OH	Previous registration
EDWARD JONES	National bd RIA	Jan 25, 2007	Oct 8, 2018	no	OBERLIN, OH	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
B. RILEY WEALTH ADVISORS, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Oct 18, 2024	Sep 20, 2024	-28	Firm change	Ibd to ibd
B RILEY WEALTH MANAGEMENT	B. RILEY WEALTH ADVISORS, INC.	Dec 31, 2022	Jul 25, 2022	-159	Bulk transfer	Ibd to ibd
EDWARD JONES	B RILEY WEALTH MANAGEMENT	Oct 8, 2018	Oct 9, 2018	1	Firm change	Ibd to ibd

Relationships

Registered with (4)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Sep 20, 2024 to presentfactForm ADV
→ B. RILEY WEALTH ADVISORS, INC.Registered adviserregistration: previous registration
Jul 25, 2022 to Oct 18, 2024factForm ADV
→ B RILEY WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Oct 9, 2018 to Dec 31, 2022factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Jan 25, 2007 to Oct 8, 2018factForm ADV

Dated events

Occurred
Oct 18, 2024
Advisor changed firm
Curtis A. Paul left B. Riley Wealth Advisors, Inc. for Ameriprise Financial Services, Llc (registered 2024-09-20)
Form ADVobserved 4 days ago